General Rules and Regulations
Securities Act of 1933
Rule 100 -- Definition of Terms Used in the Rules and Regulations
As used in the rules and regulations prescribed
in this part by the Securities and Exchange Commission pursuant to the Securities
Act of 1933, unless the context otherwise requires:
The term Commission means the Securities
and Exchange Commission.
The term Act means the Securities Act of
The term rules and regulations refers to
all rules and regulations adopted by the Commission pursuant to the Act, including
the forms and accompanying instructions thereto.
The term registrant means the issuer of
securities for which a registration statement is filed.
The term agent for service means the person
authorized in the registration statement to receive notices and communications
from the Commission.
The term electronic filer means a person
or an entity that submits filings electronically pursuant to Rules 101,
901, 902 or 903 of Regulation S-T. [Editor's note: 62 FR 36450, 36458, July 8,
1997, removed and reserved Rules 901, 902 and 903 of Regulation S-T, effective
Aug. 7, 1997.]
The term electronic filing means a document
under the federal securities laws that is transmitted or delivered to the Commission
in electronic format.
Unless otherwise specifically provided, the terms
used in this part shall have the meanings defined in the act.
A rule in the general rules and regulations which
defines a term without express reference to the Act or to the rules and regulations
or to a portion thereof defines such term for all purposes as used both in the
Act and in the rules and regulations, unless the context otherwise requires.
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